William T. Daley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Talbot Daley was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2005 - June 14, 2016
FRANKLIN DISTRIBUTORS, LLC
January 14, 1991 - November 30, 2005
LEGG MASON WOOD WALKER, INCORPORATED
October 29, 1990 - December 14, 1990
SUTRO & CO. INCORPORATED
November 3, 1987 - October 29, 1990
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
April 23, 1984 - October 29, 1990
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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